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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| RI | RA | APPROVED | 2009-08-07 |
| CT | RA | APPROVED | 2009-06-01 |
| NH | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Hyannis | MA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 09/2017 | Present |
The Function Grounds at West Barnstable Deer Club; Investment related No; Social club; Club secretary and member of the Board of Directors (proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: 0; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-05 |
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